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FINRA Awards for Robert E. Holley

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0496503/02/2010Claimant(s): George Rioseco
Claimant Lawyers(s): Peter D. St. Phillip
Respondent(s): Daniel Lofrese, John Gabelli, Gabelli & Company., Gamco Investors.
Respondent Lawyers(s): Charles J. Moxley, Jr., Joseph A. Sack
Arbitrator(s): James J. Fishman, Robert E. Holley, Gregory J. Getz
Hearing Site: New York, NY
Checkmark Icon$0
08-0182806/17/2009Claimant(s): Peter Tocco
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): Walter J. Dowd.
Respondent Lawyers(s): Daniel C. Callaway
Arbitrator(s): Martin Jay Siegel, Kenneth M. Felder, Robert E. Holley
Hearing Site: New York, NY
06-0045801/18/2008Claimant(s): Joseph Stewart
Claimant Lawyers(s): Hollis Gonerka Bart
Respondent(s): McKim Capital.
Respondent Lawyers(s): Gregory P. Vidler
Arbitrator(s): Vicki Z. Holleman, Robert E. Holley, John E. Frary
Hearing Site: New York, NY
07-0046209/25/2007Claimant(s): Jed Kaplan
Claimant Lawyers(s): Stephen A. Mendelsohn
Respondent(s): Helene Futterman, Barbara Feinberg IRA, Helene Futterman Roth IRA, Leonard Feinberg IRA, Leonard Feinberg Trust
Respondent Lawyers(s): Barbara Feinberg, Helene Futterman, Leonard Feinberg
Arbitrator(s): James J. Fishman, Robert E. Holley, Joan Ilivicky
Hearing Site: New York, NY
Expungement

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